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Oral argument scheduled in lawsuit challenging muni advisor exemption

Oral argument scheduled in lawsuit challenging muni advisor exemption
bondbuyer.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from bondbuyer.com Daily Mail and Mail on Sunday newspapers.

Exchange Commission , Supreme Court , Us Court , Financial Markets Association , Securities Industry , Conditional Exemption , Federal Reserve , Municipal Liquidity Facility , பரிமாற்றம் தரகு , உச்ச நீதிமன்றம் , எங்களுக்கு நீதிமன்றம் , நிதி சந்தைகள் சங்கம் , பத்திரங்கள் தொழில் , நிபந்தனை விலக்கு , கூட்டாட்சியின் இருப்பு , நகராட்சி நீர்மை நிறை வசதி ,

Remarks At Meeting Of SEC Small Business Capital Formation Advisory Committee, Commissioner Hester M. Peirce, April 30, 2021

Remarks At Meeting Of SEC Small Business Capital Formation Advisory Committee, Commissioner Hester M. Peirce, April 30, 2021
Date
30/04/2021
Thank you, Carla [Garrett] and the rest of the Committee members. I look forward to today’s discussion. Panels and discussions at prior Committee meetings have helped me think about ways to ensure that capital is able to reach communities that have previously seen little capital flowing their way. We have heard how most money comes from people within a founder’s own community, so we need both to empower and expand founders’ communities by embracing technology and maintaining open minds. I am going to keep my comments brief because I have mentioned most of these things before, but I continue to believe the following items are part of the solution to the problems you are going to discuss today: ....

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Regulatory Update and Recent SEC Actions - January 2021 | Blank Rome LLP

REGULATORY UPDATES
SEC Proposes Conditional Exemption for Finders Assisting Small Businesses with Capital Raising
On October 7, 2020, the Securities Exchange Commission (the “SEC”) proposed a conditional exemption from broker registration requirements for certain “finders” who assist issuers with raising capital in private markets. If adopted, the proposed exemption would permit natural persons to engage in certain limited activities involving accredited investors without registering with the SEC as brokers. The proposed exemption seeks to assist small businesses in raising capital and to provide regulatory clarity to investors, issuers, and the finders who assist them. The proposed exemption would establish guidelines for both registered broker activity and limited activity by finders that would be exempt from registration. ....

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